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Advisor at CHARLES SCHWAB & CO., INC.
Brea, CA | Seal Beach, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| CHARLES SCHWAB & CO., INC. | National bd RIA | May 16, 2024 | n/a | yes | Seal Beach, CA|Brea, CA | Current employment |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Aug 27, 2019 | Apr 26, 2024 | no | CHINO HILLS, CA|San Dimas, CA|San Dimas, CA | Previous registration |
| WESCAP GROUP | Independent wealth | Aug 4, 2017 | Aug 22, 2018 | no | GLENDALE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | CHARLES SCHWAB & CO., INC. | Apr 26, 2024 | May 16, 2024 | 20 | Firm change | Ibd to ibd |
| WESCAP GROUP | AMERIPRISE FINANCIAL SERVICES, LLC | Aug 22, 2018 | Aug 27, 2019 | 370 | Firm change | RIA to ibd |